We are a registered investment adviser based in Sarasota, Florida. Donald L. Hagan, LLC, organized under the laws of the State of Florida and doing business as Day Hagan Private Wealth and Day Hagan Asset Management, has been providing investment advisory services since 2004. Donald L. Hagan and Arthur S. Day are our principal owners. Linda Brown is a minority owner. Currently, we offer the following investment advisory services:
• Portfolio Management Services
• Financial Planning/Consulting Services
• Selection of Third Party Advisers
• Sub-Advisory Services
• Pension Consulting Services
• Adviser to ETFs The following paragraphs describe our services and fees. Please refer to the description of each investment advisory service listed below for more information. As used in this brochure, the words “we”, “our” and “us” refer to Day Hagan Private Wealth and Day Hagan Asset Management and the words “you”, “your” and “client” refer to you as either a client or prospective client of our firm. Also, you may see the term Associated Person throughout this Brochure. As used in this Brochure, our Associated Persons are our firm’s officers, employees, and all individuals providing investment advice on behalf of our firm. Portfolio Management Services We offer discretionary and non-discretionary portfolio management services. Our investment advice is tailored to meet our clients’ needs and investment objectives. If you retain our firm for portfolio management services, we will meet with you to determine your investment objectives, risk tolerance, and other relevant information at the beginning of our advisory relationship. We will use the information we gather to develop a strategy that enables our firm to give you continuous and focused investment advice and/or to make investments on your behalf. As part of our portfolio management services, we will customize an investment portfolio for you according to your risk tolerance and investing objectives. We may also invest your assets using a predefined strategy, or we may invest your assets according to one or more model portfolios developed by our firm. Once we construct an investment portfolio for you, or select a model portfolio, we will monitor your portfolio’s performance on an ongoing basis, and will rebalance the portfolio as required by changes in market conditions and in your financial circumstances. If you participate in our discretionary portfolio management services, we require you to grant our firm discretionary authority to manage your account. Discretionary authorization will allow us to determine the specific securities, and the amount of securities, to be purchased or sold for your account without your approval prior to each transaction. Discretionary authority is typically granted by the investment advisory agreement you sign with our firm and the appropriate trading authorization forms, as applicable. You may limit our discretionary authority (for example, limiting the types of securities that can be purchased or sold for your account) by providing our firm with your restrictions and guidelines in writing. If you enter into non-discretionary arrangements with our firm, we must obtain your approval prior to executing any transactions on behalf of your account. As part of our portfolio management services, we may use one or more sub-advisers to manage a portion of your account on a discretionary basis. Depending on the arrangements made with the sub- adviser, we may either use the sub-adviser’s recommendations, in whole or in part, to manage a portion of your portfolio, with the trades being placed by Day Hagan personnel or the sub-adviser(s) may use one or more of their model portfolios to manage your account and place the trades themselves. We will regularly monitor the performance of your accounts managed by sub-adviser(s) and may hire and fire any sub-adviser without your prior approval. We may pay a portion of our advisory fee to the sub-adviser(s) we use. (See the Fees and Compensation section below for more information). Financial Planning/Consulting Services We offer financial planning and/or consulting services which typically involve providing a variety of advisory services to clients regarding the management of their financial resources based upon an analysis of their individual needs. These services can range from broad, comprehensive, financial planning to consultative or single subject planning. The process typically begins with an initial consultation during which the various services provided by us are explained to you. If you wish to retain our services, we will enter into a financial planning/consulting agreement with you. You may elect to have us prepare a financial plan for a set fee and then manage your assets under one of the asset management programs described below. Alternatively, you may decide to engage us for financial planning/consulting services for a set fee and refrain from making a decision as to management services until a future time. During or after the initial consultation, if you decide to engage us, we will collect pertinent information about your personal and financial circumstances and objectives. Priorities are established, and dialog between you and an Associated Person of our firm will take place in order to assess your financial position and objectives. As required, we will conduct follow-up interviews with you for the purpose of reviewing and/or collecting financial data. Once such information has been studied and analyzed, a written financial

plan designed to achieve your expressed financial goals and objectives is produced and presented to you. Some of our clients may only require advice on a single aspect of the management of their financial resources. For these clients, we offer financial plans and/or general consulting services in a format that addresses only those specific areas of interest or concern, depending on each client’s unique circumstances. Selection of Third Party Advisers As part of the services we offer we can, based on your needs, recommend that you utilize the services of a Third Party Money Manager (“MM”) to manage a portion of, or your entire, portfolio. All MMs that we recommend must be registered as investment advisers with either the Securities and Exchange Commission or with the appropriate state authority(ies). The programs that are available to you can include wrap fee programs sponsored by a MM. After gathering information about your financial situation and objectives, an Associated Person of our firm will make recommendations regarding the suitability of a MM or investment style based on, but not limited to, your financial needs, investment goals, tolerance for risk, and investment objectives. Upon selection of one or more MM(s), we will monitor the performance of the MM(s). The MM(s) will actively manage your portfolio and will assume discretionary investment authority over your account. We will assume discretionary authority to hire and fire MM(s) and/or reallocate your assets to other MM(s) where we deem such action appropriate. Sub-Advisory Services We offer sub-advisory services to unaffiliated third parties such as other advisers, financial firms, and investment managers (the “Primary Investment Adviser”). As part of these services, we may provide model portfolios, which the Primary Investment Adviser may utilize for its clients. We may directly place the trades for the Primary Investment Adviser’s individual client accounts or we may give the model readings to the Primary Investment Adviser, who then places the trades for their clients. The Primary Investment Adviser will be responsible for selecting the appropriate model for its clients. Pension Consulting Services We offer pension consulting services to employee benefit plans and their fiduciaries based upon the needs of the plan and the services requested by the plan sponsor or named fiduciary. In general, these services may include an existing plan review and analysis, plan-level advice regarding fund selection and investment options, education services to plan participants, investment performance monitoring, and/or ongoing consulting. These pension consulting services will generally be non-discretionary and advisory in nature. The ultimate decision to act on behalf of the plan shall remain with the plan sponsor or other named fiduciary. We may also assist with participant enrollment meetings and provide investment-related educational seminars to plan participants on such topics as:
• Diversification
• Asset allocation
• Risk tolerance
• Time horizon Our educational seminars may include other investment-related topics specific to the particular plan. We may also provide additional types of pension consulting services to plans on an individually negotiated basis. All services, whether discussed above or customized for the plan based upon requirements from the plan fiduciaries (which may include additional plan-level or participant-level services) shall be detailed in a written agreement and be consistent with the parameters set forth in the plan documents. Adviser to ETFs Our firm serves as the investment adviser to the Day Hagan / Ned Davis Research Smart Sector ETF (the “Smart Sector ETF”), the Day Hagan / Ned Davis Research Smart Sector Fixed Income ETF (the “Fixed Income ETF”), and the Day Hagan / Ned Davis Research Smart Sector International ETF (the “International ETF”). These Funds are a series of Strategy Shares, a registered investment company. The Smart Sector ETF’s investment objective is to seek long-term capital appreciation and preservation of capital. The Fixed Income ETF’s and the International ETF’s investment objective is total return, consisting of income and capital appreciation. We may recommend that you invest in these ETFs. The compensation arrangements we have with these ETFs present a conflict of interest because we have a financial incentive to recommend that you invest in these ETFs. While we believe that the compensation arrangements that we have with these ETFs are competitive, such compensation may be higher than the compensation charged by other firms providing the same or similar services. You are under no obligation to purchase shares in these ETFs. Types of Investments We primarily offer advice on mutual funds, ETFs and individual equities. Additionally, we may advise you on any type of investment that we deem appropriate. We may also provide advice on any type of investments held in your portfolio at the inception of our advisory relationship. You may request that we refrain from investing in particular securities or certain types of securities. You must provide these restrictions to our firm in writing. Assets Under Management As of January 2024, we provide continuous management services for $842,857,311 in client assets on a discretionary basis, and $828,784 in client assets on a non-discretionary basis. In addition, we monitor and advise on $683,863,723 in assets on a non-continuous basis for third-party advisers.